FINRA Awards for Walter Steven Schwartz

Search by Case Number, Claimant, Respondent, Council, Arbitrator, Award Date or Amount Granted:

Displaying 11-12 out of 12 results

Case Number	Award Date	Case Summary	Customer Case?	Amount Granted
12-01045	06/19/2013	Claimant(s): Dake Investments Claimant Lawyers(s): Joe Wojciechowski Respondent(s): Charles Funke, Gregory Sernett, James Mason, Mark Sorensen, Michael Maughan, Sharon Weinle, Insphere Securities. Respondent Lawyers(s): Daniel A. Hetzel Arbitrator(s): Robert S. McConnell, Bruce R. Heurlin, Walter Steven Schwartz Hearing Site: Phoenix, AZ		Expungement
11-00733	05/17/2013	Claimant(s): Kendis Family Trust (A & B Trusts) Claimant Lawyers(s): Mark D. Lammers Respondent(s): Citigroup Global Markets., Morgan Stanley Respondent Lawyers(s): Daren A. Luma Arbitrator(s): Donald Dreyfus, Kenneth L. Mann, Walter Steven Schwartz Hearing Site: Phoenix, AZ		Expungement